Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, YAN
Chinese Name of Relevant Individual
王欣
HKMA Registration Number
AC6309
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
First date of engagement
29 Feb 2008
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF FINANCIAL INSTITUTIONS COVERAGE, APAC
Remarks
Registered Institution
BNP PARIBAS
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
17 Feb 2021
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF FINANCIAL INSTITUTIONS COVERAGE, APAC
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BNP PARIBAS
SFC CE number
AAF564
Business Address
60/F AND 63/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
BNP PARIBAS
Effective Date
08 Oct 2025
Description
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
2
Registered Institution
BNP PARIBAS
Effective Date
08 Oct 2025
Description
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 08 Oct 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 08 Oct 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 6: advising on corporate finance
Effective Period
17 Feb 2021 - 07 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Feb 2008 - 07 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
29 Feb 2008 - 17 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jul 2005 - 13 Aug 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
20 Jul 2005 - 13 Aug 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
WONG, YAN
:
Chinese Name of Relevant Individual
王欣
:
HKMA Registration Number
AC6309
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BNP PARIBAS
Type 1: dealing in securities
29 Feb 2008
Yes
HEAD OF FINANCIAL INSTITUTIONS COVERAGE, APAC
BNP PARIBAS
Type 6: advising on corporate finance
17 Feb 2021
Yes
HEAD OF FINANCIAL INSTITUTIONS COVERAGE, APAC
Name of Registered Institution
SFC CE number
Business Address
BNP PARIBAS
AAF564
60/F AND 63/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Registered Institution
Effective Date
Description
BNP PARIBAS
1
08 Oct 2025
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
BNP PARIBAS
2
08 Oct 2025
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6309
BNP PARIBAS
Type 1: dealing in securities
Since 08 Oct 2025
Yes
AC6309
BNP PARIBAS
Type 6: advising on corporate finance
Since 08 Oct 2025
Yes
AC6309
BNP PARIBAS
Type 6: advising on corporate finance
17 Feb 2021 - 07 Oct 2025
No
AC6309
BNP PARIBAS
Type 1: dealing in securities
29 Feb 2008 - 07 Oct 2025
No
AC6309
BNP PARIBAS
Type 4: advising on securities
29 Feb 2008 - 17 Jun 2024
No
AC6309
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
20 Jul 2005 - 13 Aug 2007
No
AC6309
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
20 Jul 2005 - 13 Aug 2007
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.